Benjamin V. Kornfield
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Benjamin Vincent Kornfield was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2003. Benjamin had worked at 1 firm and has passed the Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2016 - November 14, 2023
KEVIN HART KORNFIELD & COMPANY, INC.
August 4, 2016 - July 21, 2022
KEVIN HART KORNFIELD & COMPANY, INC.
October 19, 2010 - May 29, 2015
KEVIN HART KORNFIELD & COMPANY, INC.
August 25, 2003 - May 29, 2015
KEVIN HART KORNFIELD & COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
KEVIN HART KORNFIELD & COMPANY, INC.
CRD#: 20787 / SEC#: 801-66436, 8-38407
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KORNFIELD, KEVIN HART | PRESIDENT, CROP, SROP, CHIEF COMPLIANCE OFFICER | 707036 |
Regulatory assets under management
| Total Number of Accounts | 140 |
| AUM (Assets Under Management) | $ 53,686,431 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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